Securities Defense Lawyers

For years, Lisa Bragança worked as a SEC Enforcement Branch Chief, where she led investigations into securities fraud, insider trading, market manipulation, and other trading practices. Now, she aggressively fights to protect the rights of businesses, financial professionals, investors, and whistleblowers.

Lisa has represented financial professionals, directors, officers, employees, and other professionals in regulatory investigations, shareholder class actions, and bankruptcy adversary proceedings. She understands the impact that these legal matters have on her clients, which is why she strives to reach the best possible outcome in every case, and bring them peace of mind.

When Do Financial Professionals Need Their Own Attorney?

Financial Professionals

If you are involved in a securities investigation, it’s in your best interest to have an experienced securities attorney representing you. An unfavorable outcome in a regulatory investigation could completely end your career in the financial industry. But, this isn’t the only penalty you could face. Financial professionals may also be ordered to pay significant fines for their alleged misconduct.

Your future is at stake in a regulatory investigation. Lisa is an experienced securities attorney who has saved the careers of senior executives and financial professionals involved in regulatory investigations. She understands how critical this dispute is in your career and your life. She will work tirelessly to get the best possible result for you.

How Do SEC Investigations Work?

SEC Investigations

The Enforcement Division of the U.S. Securities and Exchange Commission (SEC) investigates allegations of securities law violations such as stock manipulation, theft, fraud, misrepresentation, insider trading, and selling unregistered securities.

The SEC may obtain evidence from witnesses through interviews or on-the-record testimony obtained via subpoena. An experienced securities attorney can work with the SEC to ensure the SEC gets what it wants in the least burdensome manner possible.

Based on the evidence the Commission may decide to file an administrative action or file a federal court case.

But, there is much less information exchanged before the hearings start and there are almost never any depositions. An experienced investment fraud lawyer can help you decide whether to participate in a class action or whether you can obtain a better result by “opting out” of the class.

What Should a Whistleblower Know Before Submitting a Tip?

Submitting a Tip

When you have knowledge of wrongdoing, you may want to report it as quickly as possible to get it off your conscience. However, potential whistleblowers should always consult with an attorney experienced in securities law before doing so.

Making an error in the way you deliver a tip or report wrongdoing to a regulatory agency can mean that you are not eligible for monetary whistleblower awards, nor protected under the provisions of whistleblower laws. Once you have made contact with the agency, through a tip line or otherwise, you cannot go back and “fix” your report to make yourself eligible for awards or protections. This is why it is imperative that you consult an attorney experienced in whistleblower cases before you make any move to report wrongdoing.

Schedule a Free Consultation With Bragança Law Today

Schedule a Free Consultation

Are you involved in an SEC/FINRA investigation? Are you thinking about submitting a whistleblower tip to the SEC? If so, seek legal representation from Lisa Bragança at Bragança Law as soon as possible. The outcome of your case could affect the rest of your life, which is why Lisa will work tirelessly to get the best possible results for you.

Lisa Bragança is proud to work with clients nationwide while also serving clients through the Chicago suburbs and in the local Downtown Chicago area approximately 26 miles from the Chicago Midway International Airport (MDW) and approximately 13.5 miles from the O’Hare International Airport (ORD). To schedule a free consultation, call Bragança Law at (847) 906-3460 or submit your information using the contact form on this website.

Our Videos

Lisa on CoinDesk TV: First Movers
Braganca Law overview
Insider Trading
Whistleblower Protection
Receive Subpoena
Lisa Braganca on Squawk Box
Lisa on Coindesk
The Robinhood & Citadel Lawsuit (Ex-SEC Branch Chief Explains)
CoinDesk SEC crackdown on crypto
Do Kwon charges

Case Results

We have been successful in obtaining excellent results for clients in investigations. In many cases, the government has declined to bring any charges against our clients or has settled for significantly reduced charges. We recognize that government investigations are not only distressing and disruptive to our clients but also expensive. We work closely with our clients to minimize the disruption and the cost of getting through an investigation.

Client Reviews

Thank Goodness for Lisa Braganca...Words I never thought I would say about an attorney – understanding, caring, compassionate and empathetic. Lisa Braganca is all of these and so much more. Best of all, she is...

Anonymous

Amazing experience!!! Hello I hired Lisa because my previous company I was working with put me in a very bad position and was looking at getting banned from selling securities and possibly much worse. Lisa took...

Anonymous

Lisa made it very clear from the beginning that her goal was to be the best attorney I ever had. She manabed to do just that. Never before had I experienced a combination of such genuine care, knowledge and...

Anonymous

When you are faced with the SEC looking at you for possible violations it can be one of the most unpleasant experiences. Working with Lisa Braganca made our situation 1000x easier. She worked with other...

Anonymous

I cannot recommend Celiza (Lisa) Braganca enough for the tireless work she's done for me, my partner, and our business. Facing potential SEC questioning is incredibly overwhelming and daunting, but Lisa brings...

Anonymous

I had the unpleasant experience of receiving a call from the SEC informing me that I was the target of an investigation. Having never dealt this with before, I was unsure of how to proceed. I was fortunate...

Anonymous

Our firm came under an SEC investigation for a $12m+ crypto offering. Despite some muddy waters, and internal shareholder concerns, Ms. Braganca kept me clear of the SEC enforcement actions on account of her...

Anonymous

I am a normal guy who never dreamed I would be the subject of an SEC investigation. I have a modest business but do not have deep pockets. Bluntly, I was panicked when I received notice from the SEC. Another...

Anonymous

If you're ever confronted with an SEC investigation, please don't hesitate to contact Lisa at Braganca Law. Lisa was a strong advocate for me from day one, helping guide me through a complicated securities law...

Anonymous

Lisa helped me navigate through the most stressful experience of my life. Her background and experience was extremely valuable and provided me with all of the information that I needed to know. She listened to...

Anonymous

Media Coverage

Do Kwon charges
Lisa on CoinDesk TV: First Movers
PIABA: New FINRA Steps to Fix Flaws in Broker Misconduct “Expungement” Process Won’t Work
The Robinhood & Citadel Lawsuit (Ex-SEC Branch Chief Explains)

Latest News

Unforced Errors: Staying on Serve with the SEC Rafael Nadal and Roger Federer are almost certainly among the top five or six male tennis players of all time. Federer retired from tennis in 2022, and Nadal just announced he will retire at the end of this year. At their peaks, they were undisputedly the top two players in the world. And while few…

Bragança Law Ranked a Top Small Firm in Chambers and Partners Illinois Spotlight Rankings PRESS RELEASE: September 10, 2024 Skokie, Illinois Braganca Law LLC has been ranked in Illinois Chambers Spotlight 2025 Guide and recognized as a top small firm handling high-quality work. Bragança Law was selected based on an independent and in-depth market analysis, coupled with an assessment of our experience, expertise and calibre of talent. The Chambers…

SEC Faces Sanctions – Again! SEC Made Numerous Material Misrepresentations to Utah District Court ***UPDATES BELOW – 3/19/24 and 6/4/24*** For a government agency with the talent and resources of the Securities and Exchange Commission, its ability to lose its focus and score an own goal is sometimes remarkable. At the same time the Supreme Court has power of administrative…

Contact Us for a Free Consultation

Fill out the contact form or call us at (847) 906-3460 to schedule your free consultation.

Leave Us a Message